Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

TD General

Pay Details:

$108,800 - $163,200 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

TD Asset Management Inc. (TDAM), a member of the TD Bank Financial Group, is a leading Canadian investment manager offering progressive investment solutions to both institutional and individual investors in Canada and globally.  For over two decades, TDAM established competitive market positions in active, quantitative, enhanced, and alternatives portfolio management.  TDAM offers a diverse range of over 120 investment solutions and manages retail mutual funds, ETFs and Liquid Alternative Funds in Canada.  TDAM provides its investment management services to institutional entities, and it offers its retail mutual funds and ETFs to Canadian retail investors.  Epoch Investment Partners, Inc. (TD Epoch), an US affiliate of TDAM, offers its investment solutions via private funds and segregated mandates to US institutional entities.  TDAM and TD Epoch through other TD affiliated businesses market their investment solutions to institutional investors in the UK, EU, and APAC. 

The TDAM Global Regulatory & Policy Governance group (RPG), the TDAM 1B function within the three lines of defense governance model, provides oversight of controls and management of regulatory and operational risk exposures for the TDAM and TD Epoch businesses.  RPG proactively monitors regulatory rule changes and industry practices, prepares policies, educates on regulations and operational controls, monitors control effectiveness, and serves as the Center of Excellence in supporting the TDAM and TD Epoch businesses in the continual improvement in their control environment.  With a comprehensive governance support mandate, RPG is a group comprised of a wide array of subject matter experts and is an excellent place for risk/compliance professionals to deepen their knowledge of TDAM and TD Epoch's operations and the investment management business.

The Vice President & Director, Marketing Governance role will support the governance of the TDAM, TD Epoch and international asset management marketing activities. The role will support the creation and on-going governance for marketing activities undertaken by the businesses in Canada, the US and internationally.  The role will provide advice and guidance on sustainable marketing strategies within an appropriate supervisory and governance model that is aligned to TD Bank and TD Wealth's policies, risk appetite and North American and international regulatory requirements.

This role will help facilitate the establishment of an appropriate governance and control environment for marketing activities including websites, social media, communications and content.  The role will liaise with the TDAM and TD Epoch Compliance teams in North America and internationally.

Accountabilities:

• Provide governance, operational control and regulatory subject matter expertise and support for the implementation of marketing, sales enablement and communication activities
• Provide advice on marketing and communication practices to the businesses (including the Sales Strategy and Communications team and the Client Portfolio Management team) and promote a culture of compliance and strong risk management that aligns with the asset management businesses' risk appetite
• Maintain a culture of risk management and regulatory rule compliance, supported by preparation of marketing guides, frameworks, procedures, job aids, training materials in assisting the businesses to operate within alignment of our risk appetite
• Exercise sound judgement and draw upon experience and regulatory knowledge in the review of marketing information including RFPs, RFIs, presentations, website materials, etc. for compliance with regulations, standards and procedures and provide feedback/recommendations
• Oversee the testing of marketing, social media and website reviews for adherence to standards and regulatory requirements
• Maintain strong working relationships with internal business partners, stakeholders, Legal and Compliance partners
• Understand the North American and international regulatory environment pertaining to marketing and communication activities and ensure policies and procedures are aligned to meet regulatory obligations to ensure risk is mitigated/minimized
• Maintain extensive knowledge of regulatory requirements and provide subject matter expertise to the regulatory change process for items impacting marketing and communications, including how the marketing requirements interact with securities, privacy and anti-spam rules
• Provide change management governance in conjunction with the Business Governance and Portfolio Oversight team for changes impacting marketing and communication activities as a subject matter expert on the project, providing risk and regulatory challenge with relevant stakeholders to ensure risk, control and regulatory considerations are satisfied
• Help protect the businesses interests by keeping abreast of business trends, risks, and control management issues and by maintaining a high level of knowledge of existing and emerging risk issues
• Lead the remediation process in collaboration with the businesses when control gaps are identified and support the business in designing action plans
• Ensure timely communication of issues that are relevant to the business and related stakeholders, and encourage good working relationships with internal and external business partners and groups
• Support operational and regulatory risk and control strategies by guiding the business through various operational or related regulatory risk, control and change management activities
• Coach and mentor team members.

Job Requirements:

The successful candidate must:

• Have a solid understanding of the asset management business and global marketing practices;
• Possess expert knowledge of North America and international asset management regulatory rules with a focus on securities laws pertaining to marketing and communications;
• Demonstrate expert knowledge of governance, risk and control procedures, strategies, and approaches;
• Be a highly motived individual with a proven track record of delivering results;
• Possess strong problem-solving skills and the ability to proactively identify risks/issues and recommend solutions;
• Be able to interpret regulatory rules into practical processes and controls; 
• Have excellent written and verbal communication skills;
• Be able to articulate complex issues in an effective manner;
• Have strong leadership, persuasion, presentation, and communication skills;
• Exhibit a strong ability to apply sound judgement in identifying potential issues or questionable items from both a regulatory and policy perspective;
• Highly developed and demonstrated critical thinking, and analytical skills;
• Exercise sound judgement in making decisions;
• Exhibit a collaborative working style and the ability to facilitate groups with competing agendas to gain consensus and mitigate risks;
• Facilitate effective stakeholder management with a professional approach; ability to interact with all levels within the organization;
• Manage a team of professionals by providing regular performance and development feedback and coaching;
  Be self-starter with a high degree of initiative and the ability to learn and adapt quickly;
• Be able to analyze, organize and prioritize work while meeting multiple deadlines;
• Be able to produce and present professional presentation material to senior audiences.

The successful candidate will have the following qualifications:

• University degree in Business, Finance, Law, or equivalent work experience;
• 8 to 10 years of experience in the asset management business;
• Advanced governance and risk management skills;
• Previous Asset Management CCO role would be an asset.

**4 Days in the office required**

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet